encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
) “Executive director” means any person who is appointed by the board of directors as executive director or authorized to make decisions on company’s business operation on behalf of the board of directors; (5
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] · Providing a service as necessary. In case of